Series 4 Securities License Exam Prep & Requirements
Series 4 License Requirements:
- 1. Find a Sponsoring Firm
- To take the Series 4 Exam, you must:
- — Be associated with and sponsored by a member firm
- — Be 18 years of age
- To take the Series 4 Exam, you must:
- 2. Study for Your Series 4 License
- By choosing STC as your exam prep provider, you gain access to print and online study manuals, online practice exams, the instructor hotline, and more.
- 3. Complete Form U4
- On your behalf, your sponsoring firm will send your completed Form U4 to FINRA.
- FINRA will then send enrollment instructions and provide a 120-day window to schedule your exam.
- 4. Schedule Your Exam
- You can schedule to take the exam by contacting the Prometric Testing Center at www.prometric.com/test-takers/search/1finra or through their Contact Center at (800)578-6273.
- 5. Pass the Series 4
- After your exam, you’ll receive a printed copy of your score.
- To obtain your Series 4 License, you must also pass both the Securities Industry Essentials (SIE) Exam and the Series 7 Exam.
Get your Series 4 License with STC:
Over 1,500,000 people have used STC to pass their securities licensing exams. With more than 50 years of experience, STC’s pass rate on the Series 4 Licensing Exam is higher than the national average.